Head of Risk - Asset Management

Head of Risk - SMF4 - Asset Management - £160,000 - £170,000

We are working with a global investment management firm searching for an SMF4 registered risk leader, primarily focused on their retail platform and investment management business. This individual will take ownership of regulatory relationships and sign off on capital approaches, working closely with the business to find solutions rather than operating in a strictly traditional 3-lines-of-defence model.

Key Responsibilities

• Manage and lead a global team of 25-30 people across business risk and tech risk.
• Serve as the primary regulatory contact (SMF4) taking ownership of regulator relationships and signing off on risk frameworks.
• Work closely with the capital team to understand and oversee the capital model approach.
• Partner with business leaders (including Head of Tech Risk, Head of Retail Risk, Head of Platform Risk) to improve efficiency.
• Champion a collaborative, solution-oriented approach with the business (not a check-the-box audit style).

Requirements

• Strong working knowledge of platform businesses or retail investment management (e.g., D2C platforms, Workplace Investing).
• Deep understanding of retail customer regulations and TCF (Treating Customers Fairly).
• Strong emotional intelligence and a delicate, coaching-led leadership style.
• Ability to collaborate cross-functionally and find commercial solutions rather than imposing rigid risk structures.
• Comfort with a hybrid work structure (typically 12 days a month in the office).

This is a great opportunity for someone to step up to take on their first SMF4 role, so even if you dont feel like you meet 100% of the criteria, I would love to hear from you.

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